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ALLEN WEALTH MANAGEMENT, LLC
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ALLEN WEALTH MANAGEMENT, LLC
(CRD# 133038)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Boone, NC.
The SEC approved the firm to operate as an RIA in
Jun 2005.
In
Feb 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$214.5 Million,
and has discretion over
12%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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ALLEN WEALTH MANAGEMENT, LLC
also reported in
Feb 2018:
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6
employees,
with
2
performing advisory functions.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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ALLEN WEALTH MANAGEMENT, LLC has no disclosure events reported to the SEC at this time.
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ALLEN WEALTH MANAGEMENT, LLC has Notice Filings with the following State Securities Authorities:
FL-Jan 2011, GA-Jul 2014, LA-Oct 2016, NC-Jun 2005, SC-Aug 2017
, TN-Feb 2014, TX-Mar 2017, VA-Feb 2014
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Disclaimer:
The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org is presenting this data for
informational purposes only and assumes no
responsibility for errors or omissions. Please
note that we are aware of many instances where RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
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